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CFTC’s Division Of Clearing and Risk Issues Limited No-Action Relief from Required Clearing For Partial Novation And Partial Termination Of Certain Swaps

Date 20/03/2013

The Commission’s Division of Clearing and Risk (Division) today issued a no-action letter that provides relief from required clearing for a limited set of “stub swaps” that remain after the partial novation or partial termination of an original swap that was not required to be cleared because it was executed prior to an applicable compliance date for required clearing.
Federal Reserve Issues FOMC Statement

Date 20/03/2013

Information received since the Federal Open Market Committee met in January suggests a return to moderate economic growth following a pause late last year. Labor market conditions have shown signs of improvement in recent months but the unemployment rate remains elevated. Household spending and business fixed investment advanced, and the housing sector has strengthened further, but fiscal policy has become somewhat more restrictive. Inflation has been running somewhat below the Committee's longer-run objective, apart from temporary variations that largely reflect fluctuations in energy prices. Longer-term inflation expectations have remained stable.
CFTC: Federal Court Orders Oregon-based System Capital, LLC And Its President Joshua Wallace To Pay $840,000 For Solicitation Fraud And Making False Statements To The National Futures Association - In A Related Criminal Action, Wallace Pled Guilty To Criminal Commodities Fraud

Date 20/03/2013

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Katherine B. Forrest of the U.S. District Court for the Southern District of New York entered a default judgment and permanent injunction Order against Defendants System Capital, LLC (System Capital) and its founder and president, Joshua Wallace, both of Lake Oswego, Oregon. The Order requires System Capital and Wallace to each pay a $420,000 civil monetary penalty, imposes permanent trading and registration bans against them, and prohibits them from violating the Commodity Exchange Act, as charged.
Slide Presentation (PDF): SEC Staff Review Of Common Financial Reporting Issues Facing Smaller Issuers, 2012 PCAOB Forums On Auditing In The Small Business Environment

Date 20/03/2013

Click here to download the slide presentation od the SEC Staff Review of Common Financial Reporting Issues Facing Smaller Issuers, 2012 PCAOB Forums on Auditing in the Small Business Environment.
CBOE's VIX Options Establish New Single-Day Volume Record

Date 20/03/2013

Chicago Board Options Exchange® (CBOE®) today reported that options on the CBOE Volatility Index® (VIX® index) established an all-time, single-day volume record, totaling an estimated 1,392,621 contracts. Today's VIX options volume beat the previous record of 1,388,634 contracts traded on February 26, 2013.

Direct Edge Trading Notice #13-12: Physical Connectivity Fee Changes Effective May 1, 2013

Date 20/03/2013

Direct Edge^® will increase fees for EdgeLink^®, our direct circuit connectivity service to EDGA Exchange (EDGA^®) and EDGX Exchange (EDGX^®), pending filing with the Securities and Exchange Commission.
See The New Rules And Trading Hours For Options In The BOVESPA Segment

Date 20/03/2013

As of this Wednesday (March 20, 2013), new rules come into effect for options trading in the BOVESPA segment.
Remarks Of CFTC’s Chairman Gary Gensler Before The International Monetary Fund Conference

Date 20/03/2013

Good afternoon. Thank you, José, for the kind introduction. I also want to thank the International Monetary Fund and Christine Lagarde for the invitation to speak today at your conference on commodity markets.
ESMA Publishes An Opinion On The Framework For The Assessment Of Third Country Prospectuses And An Update To The CESR Recommendations On The PD

Date 20/03/2013

This opinion explains a framework for third country share prospectuses under Article 20 and sets out the role of the EU Member States’ competent authorities in scrutinising prospectuses under these arrangements.
UK's Financial Services Authority: Fyshe Horton Finney Stockbrokers Enters Special Administration Regime

Date 20/03/2013

The Financial Services Authority (FSA) has confirmed that Fyshe Horton Finney Stockbrokers has entered the Special Administration Regime (SAR) on 20 March 2013. Paul Boyle and David Clements at Harrisons Business Recovery & Insolvency (London) Limited have been appointed joint special administrators.